Compliance AD

THE COMPANY:

Our client is a leading alternative asset management firm, looking to hire a Compliance Associate Director.  It’s essential that this person has extensive of Trade and eComms surveillance.

THE RESPONSIBILITIES:

• Support the Compliance Director by taking over day to day management of the Central Compliance Team.
• This is a hands-on role so you will be expected to become proficient in all areas of Central Compliance.
• Be responsible for the identification and management of Conflicts of Interest across the multiple business lines and geographies of the Business.
• Oversee the management of personal Conflicts of Interest including Personal Account Dealing, Outside Business Interests, Gifts & Entertainment and Directorships.
• Management of Personal Account Dealing and the implications of staff trading.
• Oversee the management of Market Soundings and wall crossings
• Knowledge and expertise of Information Walls
• Ability to undertake chaperone discussions between public & private sides of the Business
• Management of the Trade and Ecommunications Surveillance Teams
• Be the primary escalation point for trade surveillance queries from the team
• Work with the team to develop Policies, Procedures and Manuals
• Able to provide advice and guidance to strategies and individuals across the Business with respect to Compliance Policies

EXPERIENCE REQUIRED:

• 8+ years Compliance experience. Control Room experience preferred.
• Extensive experience of Trade & eComms Surveillance
• Experienced of running a Compliance Team especially across multiple jurisdictions
• Experience working in an Investment / Wholesale Bank, PE & Asset Managers with €10bn + AUM or Leveraged Finance organisation.
• Excellent management and leadership skills with a focus on coaching and training individuals within the team to succeed
• Excellent stakeholder management skills
• Outstanding communication skills
• Humble and respectful to Team members

For further information please contact Spencer Evans